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Facilitating innovation in Australia’s
heavy haul rail operations
Simon Foster, Executive Director
27 August 2014
The Office of National Rail Safety Regulator Page 2
Australian Railway Operations
44,000 km track Australia-wide
Rail employs 110,000 people
16b passenger kms/yr
Rail contributes $10b to the GDP
291b tonne-km/yr of freight carried
Transport Reform
• COAG Rail Reform Agenda (2009) sought:
• One National Rail Safety Regulator
• One National Law – RSNL (South Australia) Act 2012
• ONRSR and Jurisdictions may agree to regulation via a Service Level Agreement
• All Jurisdictions to either adopt or mirror Rail Safety National Law (RSNL)
The Office of National Rail Safety Regulator Page 3
• ONRSR commenced on 20 January 2013
• We are an independent authority, funded by industry and
government
• Current regulatory oversight of rail operations in NSW, Victoria,
South Australia, Tasmania and Northern Territory
• Head Office and Central Branch in Adelaide - branches in
Sydney and Melbourne
The National Regulator
The Office of National Rail Safety Regulator Page 4
ONRSR so far
• Currently 110 staff in 5 locations– Adelaide, Sydney, Melbourne, Hobart and Darwin
• 145 separate accreditations become 95 accredited operators
• Over 100 National Policies, Processes and Procedures– Regulatory approval
– Safety improvement policy
– Compliance and enforcement policy
The Office of National Rail Safety Regulator Page 5
Office of the National Rail Safety Regulator
Key functions of ONRSR
• administer, audit and review the
accreditation regime under the Rail
Safety National Law and Regulations
• work with rail transport operators,
rail safety workers and others involved
in railway operations to improve rail
safety nationally
• conduct research, collect and publish
information relating to rail safety
Page 6
Key functions of ONRSR
• provide, or facilitate the provision
of, advice, education and training
in relation to rail safety
• monitor, investigate and enforce
compliance with the RSNL
• engage in, promote and coordinate
the sharing of information to achieve
the objects of the RSNL
The Office of National Rail Safety Regulator Page 7
• Rail safety regulation in Australia is administered under a
co-regulatory framework
– Regulation is shared between Government and regulated parties
• Underpinned by Rail Safety National Law
– Set and monitored by Governments
– Enforced by ONRSR as an independent authority
Co-regulation
The Office of National Rail Safety Regulator Page 8
• Rail Safety National Law imposes a shared responsibility for
safety on all parties
– Rail transport operators
– Rail safety workers
– Other persons involved in the rail industry
– ONRSR
– The public
Co-regulation
The Office of National Rail Safety Regulator Page 9
• Specific safety duties are imposed on those who have control
over rail activities
– Includes the primary duty imposed on rail transport operators to
ensure the safety of their railway operations so far as is
reasonably practicable (SFAIRP)
Co-regulation
The Office of National Rail Safety Regulator Page 10
• ONRSR has a range of tools and powers to deliver its functions
and ensure compliance with the law
– Advice
– Education and training
– Guidelines, Fact sheets, Safety Alerts, Seminars,
– Findings of non-conformance
– Statutory Notices
– Prosecution, Enforceable Voluntary Undertakings
– Revocation or suspension of accreditation / registration
Co-regulation
The Office of National Rail Safety Regulator Page 11
Co-regulatory approach
ONRSR supports operators to deliver on their obligations and
enforces the Law where this has failed
Safety Improvement initiatives
Op
era
tio
ns
The Office of National Rail Safety Regulator Page 12
• Multi-disciplinary activity
• Complex contractual structures
• Intricate organisation structures
• Sophisticated funding models
• Risk mitigation through various contract arrangements
Characteristics of ‘innovation’ projects
The Office of National Rail Safety Regulator Page 13
• ONRSR recognises there are multiple stakeholders that can
influence safe outcomes
• Structures used by industry to deliver major projects are
generally based on value for money drivers
• It is not appropriate or practical for ONRSR to mandate project
delivery structures
– ONRSR’s role is to react appropriately to project delivery mechanisms to
ensure the effective applications of Rail Safety National Law
ONRSR’s facilitation of innovation
The Office of National Rail Safety Regulator Page 14
• Ensuring the concept design minimises macro risk
• Identification of who holds effective management and control
• Demonstration of effective management and control
– Identification of the accredited party/s
– Ensure safety risk is appropriately managed
The regulatory challenges for ONRSR
The Office of National Rail Safety Regulator Page 15
• Assuring safe outcomes
– Confidence that safety risk is managed in a manner appropriate to the
complexity of the project
– The entity delivering the project has the competence and capacity to
manage safety risk (RSNL s65)
– Independent Safety Assessment
– Good practice engineering safety management
The regulatory challenges for ONRSR
The Office of National Rail Safety Regulator Page 16
There are multiple ways in which projects can structure delivery
• Definitive guidance by ONRSR as to who should be accredited is
problematic as each project is unique
• However, there is one common theme:-
– Projects are ultimately delivered to a Rollingstock Operator or Rail
Infrastructure Manager, that is, a Rail Transport Operator (RTO)
Project delivery
The Office of National Rail Safety Regulator Page 17
• In ONRSR’s experience, there is merit in a delivery model that
has the operator or infrastructure manager RTO as the accredited
entity
– This supports the management of safety risk in a manner consistent with
how the assets will be used through their service life
Project delivery
The Office of National Rail Safety Regulator Page 18
• The actual RTO may not be known at concept and design
– Some major projects adopt a “shadow operator” concept
– The project develops with focused input on operations and maintenance
needs
– A “shadow operator” assists the project in assuring itself that the safety risks
in operations and maintenance are being addressed
Project delivery
The Office of National Rail Safety Regulator Page 19
What does RSNL require
on Asset Management?
Rail Safety National Law (RSNL) specifically requires all
accredited Rail Transport Operators, as part of a Safety
Management System to have:
o An asset management policy and processes that address
all phases of the asset lifecycle of the rail infrastructure or
rollingstock operations
(National Regs, Schedule 1, cl 21)
The Office of National Rail Safety Regulator Page 20
What we look for in an AM system
Assurance that rail infrastructure and rolling
stock assets are systematically managed in
a way that promotes risk based safe railway
operations and complies with the RSNL
Trending against the life expectancy, with
a clear decision point for renewal and the
provisions for this renewal
Sufficient detail in the SMS, including
records of risk management, that
address the risks across this lifecycle
The Office of National Rail Safety Regulator Page 21
References
Guidelines
o Regulatory Approach
o Meaning of duty to reduce risk SFAIRP
o Preparation of a rail SMS
o Effective control and management of railway operations
Policies
o Compliance and Enforcement Policy
o Safety Improvement Policy
www.onrsr.com.au
The Office of National Rail Safety Regulator Page 22
Advice on regulatory requirements
Head Office - Adelaide
(08) 8406 1500
The Office of National Rail Safety Regulator Page 23